Robert D. Howard
Professional summary
Robert Douglas Howard, who also goes by Doug Howard, Robert Howard, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Knoxville, Tennessee and CETERA INVESTMENT SERVICES LLC located in Chattanooga, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Robert has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Douglas Howard's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 151 Major Reynolds Place, Knoxville, TN 37919February 12, 2013 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2128 Gunbarrel Road, Chattanooga, TN 37421Office #2: 151 Major Reynolds Place, Knoxville, TN 37919Office #3: 5446 Tennessee Highway 153, Hixson, TN 37343Office #4: 345 Frazier Ave Suite 109, Chattanooga, TN 37405Office #5: 2901 Essary Drive, Knoxville, TN 37918Office #6: 20 N Ocoee St, Cleveland, TN 37311February 12, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 14, 2012 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
March 9, 2012 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
February 4, 2008 - December 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2008 - December 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2006 - March 30, 2007
EDWARD JONES
September 26, 2006 - March 30, 2007
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2013)
(1/25/2016)
(10/15/2013)
(10/15/2013)
(2/24/2016)
(4/21/2014)
(2/12/2013)
(5/8/2013)
(4/8/2016)
(10/15/2013)
(10/15/2013)
(10/15/2013)
(10/20/2015)
(10/15/2013)
(5/8/2013)
(11/30/2015)
(8/14/2015)
(4/20/2015)
(2/12/2013)
(7/23/2013)
(3/16/2016)
(10/15/2013)
(10/16/2013)
(10/15/2013)
(2/24/2016)
(10/27/2015)
(10/15/2013)
(5/8/2013)
(6/28/2021)
(5/8/2013)
(2/6/2018)
(10/15/2013)
(7/29/2015)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Knoxville, TN 37919TRUST BUT VERIFY
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